7 Le greasing payment est un payement d un faible montant effectué en faveur d un commerçant ou d un fonctionnaire d un faible rang pour exécuter une décision d affaire, un transport ou toute autre opération dans un pays où pareil payement n est pas inusité. Cette opération que l on peut qualifier d ordinaire est aussi visée dans la clause précitée malgré le caractère minime des montants Comportements prescrits Extension aux relations contractuelles des codes de conduite. L on peut citer la clause suivante : G requires all G. employees and any Third Party acting for or on behalf of G to ensure that all dealings with Third Parties, both in the private and government sectors, are carried out in compliance with all the relevant laws and regulations and with the standards of integrity required for all G business. La clause suivante organise la connaissance du code de conduite préalablement à la signature du contrat. Manufacturer declares that prior to entering into this Agreement it has adequately acquainted itself as to Group s code of conduct, a copy of which has been transmitted to it, and undertakes to comply with the same. Cette clause suivante fait référence aux codes adoptés par le vendeur et mentionne leur disponibilité sur la toile. 15.1) With reference to the execution of the activity object of this Agreement, BUYER represents that it is acquainted with the contents of the document Principles of Model 231 issued by SELLER with reference to the rules in force regulating the administrative responsibility of corporate bodies for offences committed by company s directors, employees and/or collaborators. In this regard, the above mentioned document is made available to BUYER in the website of SELLER : At any time BUYER shall be entitled to request to SELLER a paper copy of such document. SELLER represents that it is acquainted with the principles of group s code of conduct or equivalent principles a copy of which is available on the website of *** or on request. La clause suivante renvoie aux annexes R acknowledges receipt of the Prevention of Corruption Third Party Guidelines, which are attached as Exhibit F attached to this Master Agreement, and agrees to perform its obligations under the Master Agreement in accordance with the principles set out therein. Les annexes prescrivent: EXHIBIT F PREVENTION OF CORRUPTION THIRD PARTY GUIDELINES The G. Anti-Bribery and Corruption Policy (POL-G-007) requires compliance with the highest ethical standards and all anti-corruption laws applicable in the countries in which G. (whether through a Third Party or otherwise) conducts business. POL-G-007 requires all G 7

8 employees and any Third Party acting for or on behalf of G to ensure that all dealings with Third Parties, both in the private and government sectors, are carried out in compliance with all the relevant laws and regulations and with the standards of integrity required for all G business. G values integrity and transparency and has zero tolerance for corrupt activities of any kind, whether committed by G employees, officers, or Third Parties acting for or on behalf of the G. Cette annexe place la barre très haut : normes ; standards éthiques ; partenaire public ou privé ; Application internationale des Le critère est les plus hauts Application à tous tiers ; Le bénéficiaire peut être un Tolérance zéro Les actions répréhensibles. La clause modèle de la CCI les détaille: «ICC Corruption or corrupt practice(s), as used in the clause, include : (1) bribery, (2) extortion or solicitation, (3) trading in influence and (4) laundering the proceeds of these practices. Cette définition énonce de manière assez complète les comportements qui sont sanctionnés. La clause suivante est aussi très large : «R agrees that it has not, and covenants that it will not, in connection with the performance of this Master Agreement or any Task Order, promise, authorize, ratify or offer to make, or take any act in furtherance of any payment or transfer of anything of value, directly or indirectly Citons aussi la clause suivante à la fois simple et plutôt complète : 19.0 ETHICS/CONFLICT OF INTEREST The PARTIES warrant that in connection with this AGREEMENT and the business relating thereto, they, their directors, their employees, their officers, and anyone acting on their behalf shall not offer, make or promise any payment, either directly or indirectly, of money or other assets (hereinafter collectively referred to as PAYMENT)where such PAYMENT would constitute a violation of any applicable law. Warrant signifie en droit anglais que l on ne peut, sauf convention contraire, mettre fin au contrat en cas de violation de l obligation. 9 Les modalités sont aussi précisées. 9 Voy. D.PHILIPPE, Warranties & representations, Material adverse change. Faux amis et innovation., D.A.O.R. 2011/98, pp

9 Ainsi les clauses précédentes visent la corruption directe et indirecte ; donc le fait de donner l argent à une personne qui le verse elle-même à un agent de l Etat sera suffisant à entraîner l application de la clause. Le but ou l intention sont parfois appréhendés : (or at the request of any individual) including a government official (as defined in the glossary section) for the improper purpose of influencing or inducing or as a reward for any act, omission or decision to secure an improper advantage or to improperly assist the company in obtaining or retaining business. The PARTIES shall make no PAYMENT, either directly or indirectly, to OFFICIALS if such PAYMENT is for the purpose of influencing decisions or actions with respect to the subject matter of this AGREEMENT or the business activities of the PARTIES or their respective AFFILIATES. Citons enfin la clause suivante: entities for purposes of improperly influencing official actions or decisions or securing any improper advantage or in order to obtain or retain business, or engage in acts or transactions Réputation La clause suivante s attache à la réputation: «28.2 Neither party shall act or make any omission or otherwise do anything which in the opinion of the other party: (a) causes (or is likely to cause) damage and/or prejudice to such party s good name and/or reputation; and/or Cette clause est beaucoup plus large et vague car l atteinte à la réputation n est pas nécessairement liée à la corruption Respect de certaines législations bien définies. L on peut citer, à titre purement exemplatif, le respect de la législation sur la protection du travail des enfants : 28.1 Each party agrees, in respect of the provision of the services, that it shall comply (and shall procure that its employees, agents, subcontractors and suppliers comply) with all Child Labour Laws. La clause suivante vise la non discrimination : ARTICLE 17 EQUAL OPPORTUNITY Contractor will not discriminate against any employee or applicant for employment because of age, race, color, handicap, religion, sex, or national origin. Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their age, race, color, religion, sex, handicap, or national origin. Such action shall include but not be limited to the following : Employment, upgrading, demotion, or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of compensation, selection for training, including 9

10 apprenticeship. Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices setting forth the provisions of this nondiscrimination clause. Contractor will, in all solicitations or advertisements for employees placed by or on behalf of Contractor, state that all qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, handicap, or national origin. Contractor will comply with all relevant provisions of the rules, regulations, and orders of the Secretary of Labor. Ces clauses sont souvent proches de celles sanctionnant la corruption Bénéficiaires des dons ou avantages. La clause suivante les définit de manière large : «an officer or employee of a government or any department, agency, or instrumentality or public international organisation; any political party or official thereof; any candidate for political office; any sub-contractor or supplier, any L. or Developer partner, or any other person at the suggestion, request or direction or for the benefit of any of the above-described persons Une autre clause définit de manière précise les officiers publics visés : For the purpose of this Section Government Official means : (i) any officer or employee of a government or any department, agency or instrument of a government; (ii) any person acting in an official capacity for or on behalf of a government or any department, agency, or instrument of a government; (iii) any officer or employee of a of a company or business owned in whole or part by a government; (d) any officer or employee of a public international organization such as the World Bank or United Nations; (iv) any officer or employee of a political Party or any person acting in an official capacity on behalf of a political Party; or (v) any candidate for political office. La définition suivante de public official est assez précise et veille à la complétude par une énumération large : *officers, office holders or employees of (i) a government or any department, agency, or instrumentality thereof (legislative, administrative and judicial), (ii) a local self government body, (iii) regional government body, or (iv) public international organization; *persons acting in an official capacity or exercising a public function for or on behalf of any such government or department, agency, or instrumentality thereof, local self government body, regional governmental body or public international organization; *officials of a political party (or the political party as a whole); candidates for government office; *non public officials, officials of international public organizations, such as the United Nations or the World Bank; 10

12 All third parties should be made aware of the terms of the I. Third Party Code of Conduct and of their obligations to comply with it. All arrangements with third parties should be subject to clear contractual terms including specific provisions requiring them to comply with minimum standards and procedures in relation to bribery and corruption. Appropriate wording to be included in contracts can be obtained from Group Legal. L observation de la clause par le cocontractant ne sera pas facile puisqu il devra veiller à informer tout tiers du Code et veiller à ce que sa force obligatoire soit étendue aux tiers Extension en premier lieu aux employés Neither party shall on its own or through its officers, directors, owners, employees Extension subséquente aux cocontractants. Les agents, distributeurs, sous-traitants consultants sont les premiers visés D autres renferment une implication et visent tous les tiers. As such we are committed to promoting compliance with effective anti-bribery and corruption policies by all third parties acting on behalf of Communication des engagements à des tiers bien définis La clause suivante vise des tiers bien déterminés dans le cadre des relations de travail : Contractor will send to each labor union or representative of workers with which it has a collective bargaining agreement or other contract or understanding, a notice advising the labor union or workers representative of the Contractor s commitments under this Equal Opportunity clause and shall post copies of the notice in the conspicuous places available to employees and applicants for employment Porte fort Le contractant peut se porter fort pour les autres personnes avec qui il contracte lui-même. Rappelons qu il est alors redevable de dommages et intérêts à l égard du commettant. Il peut aussi souscrire l obligation d insérer la clause dans les contrats ultérieurs : «Work of children Contractor will include the substance of this Article in every subcontract or purchase order, so that such provisions will be binding upon each subcontractor or vendor. 12

13 III. Mesures préventives Clause générale L on peut citer la clause suivante: «Le Prestataire doit prendre toutes les mesures nécessaires et appropriées afin d empêcher la corruption.» 3.2. Garantie donnée par le contractant lui-même de son intégrité Les clauses suivantes veillent à garantir l intégrité du cocontractant lui-même : RGI represents that it has not been convicted of or pleaded guilty to a criminal offence, including one involving fraud, corruption, or moral turpitude, that it is not now, to the best of its knowledge, the subject of any government investigation for such offences, and that it is not now listed by any government agency as debarred, suspended, proposed for suspension or debarment, or otherwise ineligible for government programs. RGI represents and warrants that except as disclosed in writing : (1) it does not have any interest which directly or indirectly conflicts with its proper and ethical performance of this Master Agreement and any Task Order(s); and (2) it shall maintain arms length relations with all Third Parties (including Government Officials) with which it deals in performance of this Master Agreement or any Task Order Mesures visant à éviter tout contact avec des personnes d influence La clause ci-dessous citée prend le mal à la racine puisqu à partir du moment où elle interdit le contact avec des personnes d influencele, la corruption sera peu aisée : R shall not contact, or otherwise meet with any Government Official with respect to any transactions required under this Master Agreement or any Task Order, without the prior written approval of G and, when requested by G, only in the presence of a G.designated representative Mesures visant à conserver la trace de toutes les opérations effectuées RGI shall ensure that all transactions under the Master Agreement and any Task Order are properly and accurately recorded in all material respects on its books and records and each document upon which entries such books and records are based is complete and accurate in all material respects. RGI must maintain a system of internal accounting controls reasonably designed to ensure that it maintains no off-the-books accounts. 11 Sur la portée de la clause de représentation, voy. notre article précité. 13

14 Cette clause est fort bien conçue mais son contrôles sera moins aisé Choix des sous contractants Ce choix doit être précédé d une due diligence définie ci-dessous: If applicable, all information provided by C. during P s pre-contractual due diligence, including all information provided in the Third Party Entity FCPA Due Diligence Questionnaire, is complete, truthful and accurate. C undertakes to update the foregoing representation (during the performance of the Agreement) if C or any of its employees who will be primarily responsible for performing under the Agreement, or a relative of such an employee or individual, becomes a GO or if a GO becomes an owner of C. Le contractant devra refuser de contracter avec un tiers en cas de : a) Suspicion b) ou must not engage any third party who you know or reasonably suspect of engaging in bribery. Une autre clause est également fort intéressante: 3.6. Due diligence Appropriate due diligence should be undertaken before any third parties are engaged. The appropriate level of due diligence will vary depending on the circumstances and you should use your judgement on a case by case basis. Questions you should be asking yourself include: who are they have I seen documents evidencing that they are who they say they are? who else have they worked with do they have references? are they well established with a good reputation or are they more obscure so that I need to do more to find out about them? do they operate in a territory where bribery is prevalent? 3.7. Audit Un droit d audit est parfois accordé à la partie qui introduit la clause anticorruption : 18.7 G shall have the right during the term of this Master Agreement to conduct an investigation and audit of RGI to monitor compliance with the terms of this Section 18. RGI shall reasonably cooperate with such investigation or audit, the scope, method, nature and duration of which shall be at the sole reasonable discretion of G. Ce droit d audit peut parfois être en contradiction avec les règles en matière de protection de la vie privée ou de protection des secrets d affaire. Il convient d y penser lors de la rédaction de la clause. 14

15 IV. Sanctions contractuelles Quid en cas de violation de l engagement précité? 4.1. Information Une notification est parfois organisée : Each party agrees that it shall promptly provide written notice to the other party in the event that, at any time during the term of this Agreement, either of them has failed to comply with or has breached the restrictions set forth in this clause Une autre clause organize une information complete: R. agrees that G. may make full disclosure of information relating to a possible violation of the terms of this Master Agreement at any time and for any reason to any competent government bodies and its agencies, and to whomsoever GSK determines in good faith has a legitimate need to know. L on peut s interroger sur l efficacité de la clause dans la mesure où il est à craindre que la personne qui a fauté, se dévoile au grand jour. Mais si le cocontractant est une société comprenant de nombreux membres, il est possible que la direction ne soit pas informée de tous les actes posés par un commercial et ne le découvrent que par la suite et informent le cocontractant spontanément de cet acte de corruption Remédier L on peut imposer d essayer de limiter la casse en veillant à prendre toutes les mesures pour faire disparaître ou limiter les effets de la clause. Là aussi, l efficacité de la clause peut prêter à doute ; va-t-on demander à la personne corrompue de restituer l argent? Ceci étant, une plainte pénale pourrait être déposée de commun accord Résolution immédiate assortie dommages et intérêts C est la clause la plus classique : Pf may immediately terminate this Agreement if C breaches the forgoing representation or if Pfizer learns that improper payments are being or have been made to a GO by C with respect to services performed on behalf of Pf or any other company. Further, in the event of such termination, C shall not be entitled to any further payment, regardless of any activities undertaken or agreements with additional third parties entered into prior to termination, and shall be liable for damages or remedies as provided by law. Dans la clause suivante, la terminaison du contrat porte sur le contrat cadre et les contrats qui s ensuivent ; 15

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